Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Schwab, Vanguard, Other Platform Glitches Unrelated to Apple, Tesla Splits, Firms Say
By Ginger SzalaSeveral major trading platforms experienced outages and other problems on the day of the stock splits.
September 02, 2020
DOL Fiduciary Rule Hearing Is Too Rushed, Lawmakers SaySen. Patty Murray and Rep. Bobby Scott urged the department to reopen the comment period after the hearing.
September 02, 2020
SEC Charges Ex-LPL Rep With Stealing $300K From Retired ClientThe rep defrauded a 73-year-old client with whom he shared a bank account, the SEC says.
September 02, 2020
Raymond James Expands Advisor Coaching ProgramOverall, 650 advisors and branch professionals have participated in the firm's different coaching programs since Oct. 1, 2019.
September 02, 2020
Firms Failing to Report Advisors' Disciplinary Histories on Form CRS: WSJThe Journal said it found about 2,300 employees with disclosures that their firms didn't report on the form.
September 02, 2020
Hearsay CEO Clara Shih Steps AsideThe news comes one month after Salesforce Ventures made a strategic investment; Shih will become executive chairperson.
September 01, 2020
Jean Hynes Named Next Wellington CEOThe head of the Vanguard Health Care Fund will continue leading the portfolio after taking the executive reins from Brendan Swords next summer.
September 01, 2020
Creative Planning Strikes Its Biggest RIA Deal EverIn its eighth acquisition of the year, the Overland Park, Kansas-based firm more than doubles its asset footprint in Atlanta.